DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Advisor moves
Departures from Financial Action, Inc.
A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Brandon M Williams | Financial Action, Inc. independent RIA | T. Rowe Price Associates, Inc. asset manager | Other | Dec 11, 2019 | Feb 3, 2020 (54 d) |
| Shane Andrew Squibb | Financial Action, Inc. independent RIA | Mutual Of Omaha Investor Services, Inc. no RAUM | Other | Oct 8, 2013 | Feb 3, 2014 (118 d) |
| David James Mannaioni | Financial Action, Inc. independent RIA | Transamerica Financial Advisors, LLC other | Other | Mar 28, 2011 | Apr 3, 2012 (372 d) |
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3 moves match.